• Personal Trading
  • Gifts & Entertainment
  • Forms Studio
  • Whistleblower
  • Document Library


  • Tasks
  • Calendars/Alerts
  • Exceptions
  • Reporting


  • Testing
  • Certifications
  • Risk Assessment
  • Evidence

BasisCode Compliance, providing compliance software to manage your company’s compliance risk

BasisCode Compliance:
The basis of an audit-ready business

BasisCode offers the industry’s broadest integrated technology platform that improves compliance management for asset managers, investment advisors, broker/dealers, insurance companies and other financial services providers.
Compliance Process
Centralized and intuitive, our software spans functionality, from testing and risk assessment to personal trading and certifications — all within a unified solution—enhancing controls and decision-making to safeguard your firm and clients. Click here to learn more about our compliance management software.

  • Compliance Portal that gives authorized users instant online access
  • Seamlessly integrated risk assessment and testing
  • Calendar-based reminders, checklists and alerts
  • Document management and archival with version control
  • User-defined query and search capabilities
  • Complete audit trail of performed tests
  • Rich analytics and robust reporting